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SEC NEWS DIGEST
Issue 2002-208 October 28, 2002
COMMISSION ANNOUNCEMENTS
COMMISSION MEETINGS
Following is a schedule of Commission meetings which will be conducted
under provisions of the Government in the Sunshine Act. Meetings will
be scheduled according to the requirements of agenda items under
consideration.
Open meetings will be held in the Commission Meeting Room, Room 1C30, at
the Commission's headquarters building, 450 Fifth Street, N.W.,
Washington, D.C. Visitors are welcome at all open meetings, insofar as
space is available. Persons wishing to photograph or videotape
Commission meetings must obtain permission in advance from the Secretary
of the Commission. Persons wishing to tape record a Commission meeting
should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign
language interpreter or material on tape to attend a public meeting
should contact Rochelle Franks, Office of Administrative and Personnel
Management, to make arrangements. Ms. Franks can be reached at TTY
number (202) 942-9558. If you are calling from a non-TTY number, please
call the Relay Service at 1-800-877-8339.
CHANGE IN THE MEETING: CANCELLATION OF MEETING/ADDITIONAL MEETINGS
CLOSED MEETING - MONDAY, NOVEMBER 4, 2002 - 10:00 A.M.
The subject matter of the closed meeting scheduled for Monday, Nov. 4,
2002, will be: Formal orders of investigation; Institution and
settlement of injunctive actions; and Institution and settlement of
administrative proceedings of an enforcement nature.
OPEN MEETING - WEDNESDAY, OCTOBER 30, 2002 - 10:00 A.M.
The following item previously scheduled for the open meeting on
Thursday, Oct. 31, at 10:00 a.m., is now scheduled for the open meeting
on Wednesday, Oct. 30, at 10:00 a.m. The Commission will consider
whether to propose amendments to the definition of terms used in the
exception from the definition of dealer for banks under Section 3(a)(5)
of the Securities Exchange Act of 1934. Specifically, the Commission
will consider whether to propose amendments to the related exemption for
banks, savings associations, and savings banks as well as propose a new
exemption concerning securities lending. These proposals relate to the
implementation of the specific exceptions for banks from the definitions
of "broker" and "dealer" that were amended by the Gramm-Leach-Bliley
Act.
OPEN MEETING - WEDNESDAY, NOVEMBER 6, 2002 - 10:00 A.M.
The following item previously scheduled for the open meeting on
Thursday, Oct. 31, at10:00 a.m., is now scheduled for the open meeting
0-28.txt
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MADOFF EXHIBITS-05373
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on Wednesday, Nov. 6, 2002, at 10:00 a.m., in Room 6500. The Commission
will consider proposed rules establishing standards of professional
conduct for attorneys who appear and practice before the Commission in
any way in the representation of issuers, as required by Section 307 of
the Sarbanes-Oxley Act of 2002. These standards would include a rule
requiring an attorney to report "evidence of a material violation of
securities laws or breach of fiduciary duty or similar violation by the
company or any agent thereof" to the chief legal counsel or the chief
executive officer of the company ior the equivalent); and, if they do
not respond appropriately to the evidence, requiring the attorney to
report the evidence to the audit committee, another committee of
independent directors, or the full board of directors.
CLOSED MEETING - NOVEMBER 6, 2002 - FOLLOWING THE OPEN MEETING
The subject matter of the closed meeting scheduled for Wednesday, Nov.
6, 2002, immediately following the open meeting, will be: Settlement of
injunctive actions; and an Adjudicatory matter.
At times, changes in Commission priorities require alterations in the
scheduling of meeting items. For further information and to ascertain
what, if any, matters have been added, deleted or postponed, please
contact: The Office of the Secretary at (202) 942-7070.
MARKET STRUCTURE HEARINGS SCHEDULE
OCTOBER 29, 2002 - SEC HEADQUARTERS, WASHINGTON, DC - ROOM 1C30
9:30 a.m. - 10:30 a.m. Introductory Remarks
Commissioner Cynthia Glassman
Opening Session
Moderator: Annette Nazareth, Director
Division of Market Regulation
10:30 a.m. - 10:45 a.m. Break
10:45 a.m. - 12:15 p.m. Session I: Market Data
Moderator: Lawrence Harris
Chief Economist
12:15 p.m. - 1:15 p.m. Lunch
1:15 p.m. - 2:45 p.m. Session II: Best Execution and Related Agency Issues
Moderator: Robert Colby, Deputy Director
Division of Market Regulation
2:45 p.m. - 3:00 p.m. Break
3:00 p.m. - 4:30 p.m. Session III: Exchange Registration and the Self-
Regulatory System
Moderator: Annette Nazareth, Director
Division of Market Regulation
4:30 p.m. Adjournment
Participants in Sessions on October 29, 2002
Gary Gastineau
ETF Advisors
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MADOFF EXHIBITS-05374
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Lon German
Vice Chairman and Enterprise President
Lawrence Leibowitz
Senior Vice President, Head of the Equities Division
David Pottruck
President and Co-CEO
Schwab Capital Markets
Joel Hasbrouck
Kenneth G. Langone Professor of Business Administration and
Professor of Finance, New York University
Member of the ITG Scientific Advisory Board
Richard Ketchum
President, The Nasdaq Stock Market
Bernard L. Madoff
Principal, Bernard L. Madoff Investment Securities
John Markese
President, American Association of Individual Investors
Senior Management of the
New York Stock Exchange
Ed Nicoll
CEO, Instinet Corporation
Maureen O'Hara
Professor of Finance, Cornell University
George "Gus" Sauter
Managing Director, The Vanguard Group
Salvatore Sodano
Chairman and CEO, American Stock Exchange
Wayne Wagner
Chairman, Plexus Group
David Whitcomb
Founder & Chairman, Automated Trading Desk
COMMISSION ANNOUNCES FOUNDING MEMBERS OF PUBLIC COMPANY ACCOUNTING OVERSIGHT
BOARD
On Oct. 25, the Commission announced the selection of Judge William H.
Webster to be chairman, and Kayla J. Gillan, Daniel L. Goelzer, Willis
D. Gradison Jr., and Charles D. Niemeier to be founding members of the
Public Company Accounting Oversight Board.
The Board, established by the Sarbanes-Oxley Act of 2002, will oversee
the audits of the financial statements of public companies through
rigorous registration, standard setting, inspection and disciplinary
programs. The Act requires the Commission, in consultation with the
Secretary of Treasury and the Chairman of the Federal Reserve Board, to
select the members of the Board.
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The Commission received approximately 450 nominations and applications
for the five available Board positions.
SEC Chairman Harvey L. Pitt said: "The individuals selected to serve on
the Board clearly meet and exceed all the requirements in the Act - they
are individuals of high integrity and reputation who have demonstrated a
commitment to serving the interests of investors, and they understand
the financial reporting process. They are each committed to meaningful
reform. In addition, they bring to the Board a combination of investor
advocacy, regulatory and legal experience. The Commission looks forward
to working with the new Board members as they develop the Board's
programs and begin operations."
"We have been pleased by the expressions of interest and
willingness to serve on the Board," said Chief Accountant Robert K.
Herdman. "Many prominent people of unquestioned integrity and ability
were nominated for the Board, making the decision difficult but, at the
same time, extremely rewarding. The President and Congress have set out
an aggressive program for reform of the accounting profession, and the
new Board's first task is to implement that program. Wisely, the Act
also provides the Board with the ability to perceive the need for, and
implement, even more reform."
BIOGRrlPHICAL NOTES:
William H. Webster (Chairman, term to expire 2007) - Judge Webster's
entire career reflects his commitment to public service and dedication
to protecting the American public. Judge Webster served as U.S.
Attorney for the Eastern District of Missouri, then as a U.S. District
Court judge. He subsequently was elevated to the U.S. Court of Appeals
for the Eighth Circuit. During his service on the bench, Judge Webster
was Chairman of the Judiciary Conference Advisory Committee on the
Criminal Rules and was a member of the Ad Hoc Committee on Habeas Corpus
and the Committee of Court Administration. He resigned from the Court
in 1978 to become the Director of the Federal Bureau of Investigation
under President Jimmy Carter. In 1987, he was sworn in as the Director
of Central Intelligence under President Ronald Reagan. In this
position, he headed the Intelligence Community (which includes all
foreign intelligence agencies of the United States) and directed the
Central Intelligence Agency.
Since his departure from the CIA, Judge Webster has been asked many
times, by many people and organizations, to examine the status quo and
recommend reforms. The City of Los Angeles Police Commission called on
Judge Webster after the riots in the early 1990s. He was appointed by
IRS Commissioner Charles Rossotti to investigate allegations of taxpayer
abuse of the IRS' Criminal Investigation Division. Most recently, Judge
Webster was asked to investigate the security policies and procedures of
the FBI following the discovery of Special Agent Robert Hanssen's
espionage activity. As a member of the legal community, Judge Webster
has served as Chairman of the American Bar Association's Corporation,
Banking and Business Law Section. In 1997, the ABA asked Judge Webster
to lead an examination of the "pay to play" practice of directing
political contributions to elected officials to influence the award of
municipal bond contracts.
Judge Webster is currently a partner in the international law firm
Milbank, Tweed, Hadley & McCloy LLP, where he practices international
corporate, banking, trade and administrative law and has led teams of
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Milbank attorneys conducting numerous internal investigations for the
independent directors of several boards of directors of Fortune 500
companies. He has served on a number of audit committees, including
Anheuser-Busch Companies Inc., Pinkerton Inc. and Maritz Inc.
Judge Webster has been highly praised for his integrity and commitment
to public service. He has been recognized with many awards, including
the 2002 American Bar Association Medal (the highest honorthe ABA can
bestow), the 2001 Justice Award of the American Judicature Society, the
Presidential Medal of Freedom, the National Security Medal, and he is an
Honorary Fellow of the American College of Trial Lawyers.
Daniel L. Goelzer (Term to expire 2006) - Goelzer served as the General
Counsel of the Securities and Exchange Commission for more than seven
years, making him the longest serving General Counsel in the history of
the agency. During his tenure as General Counsel, Goelzer represented
the SEC and the interests of investors through the performance of duties
in the areas of appellate litigation, rulemaking, and regulation of the
securities markets. He has testified before Congress on these issues and
assisted in drafting legislation. As both a lawyer and a Certified
Public Accountant, he was a constant source of advice and counsel on
legal, regulatory, and congressional issues pending before the
Commission. Since leaving the Commission, Goelzer has been in the
private practice of law, focusin~ on securities law and financial
institution regulation. He is the author of several articles on matters
related to corporate governance and the securities laws. Early in his
career, Goelzer was a member of the audit staff of Touche Ross & Co.
Kayla J. Gillan (Term to expire 2005) - Gillan recently became the vice
president of Independent Fiduciary Services, after serving six years as
the chief legal adviser to the California Public Employees' Retirement
System (CalPERS) and to its 13-member Board of Trustees. She drafted
CalPERS' U.S. Corporate Governance Core Policies and Guidelines, a
treatise on corporate governance practices, which is widely cited and
has been incorporated within the national and international curriculum
on this subject. Gillan interacts not only with corporate boards and
executives, but also investment advisers and institutional investors,
including pension, labor and mutual funds. She is a frequent speaker and
author on corporate governance issues, and an active advocate for
shareholder and investor interests.
Willis D. Gradison, Jr. (Term to expire 2004) - Gradison is a former
nine-term Congressman from Ohio. While in Congress, he served as the
Ranking Member of the House Budget Committee and as the Ranking Member
on the Health Subcommittee of the House Ways and Means Committee. Prior
to entering Congress, Gradison served as an Assistant to the Secretary
of Health, Education and Welfare, an Under Secretary of the Treasury,
and Mayor of Cincinnati. He has been the Chairman of the Board of
Directors of the Federal Home Loan Bank of Cincinnati, an investment
broker and corporate director. Since leaving Congress, he has been
president of the Health Insurance Association of America, a member of
the audit committee for Project HOPE, and served on other charitable
~oundations. Gradisoncurrently is the Senior Public Policy Counselor at
Patron Boggs.
Charles D. Niemeier ~Term to expire 2003) - Niemeier is the Chief
Accountant in the Commission's Division of Enforcement and co-chairman
of the Commission's Financial Fraud Task Force. In these roles, he
coordinates, monitors and advises the Division staff as they conduct
accounting and financial reporting investigations and initiate
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MADOFF EXHIBITS-05377
ra~e v vl L.I
enforcement and disciplinary proceedings. Under his leadership, last
year
the Commission brought a record 160 financial fraud, reporting, and
accounting cases, including cases involving misleading earnings press
releases and misleading disclosures in the Management Discussion and
Analysis (MD&A) sections of corporate reports. As both an attorney and a
Certified Public Accountant, Niemeier has legal and public accounting
experience dealing with complex accounting, auditing, and financial
reporting issues. (Press Rel. 2002-153)
ENFORCEMENT PROCEEDINGS
INSTITUTES
COMMISSION PROCEEDINGS
PUBLICADMINISTRATIVE AGAINST PAUL HOUSE
MOORE
ANDBRANDON INJUNCTION
BASEDON AN ORDEROF PERMANENT
On Oct. 25, the Commission instituted public administrative proceedings
against Paul J. House and Brandon R. Moore (Respondents) of Decatur,
Illinois. The proceedings are based on the injunction entered, on June
20, 2002, in the case of SEC v. House Asset Management, L.L.C., et al.,
Case No. 02-2147, against the Respondents. The Respondents, without
admitting or denying the allegations made in the Cormnission's Complaint,
consented to the entry of an order permanently enjoining them from
violating Sections 5(a), 5(c), 17(a)(l), 17(a)(21, and 17(a)(3) of the
Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5
thereunder, Sections 206(1) and 206(2) of the Advisers Act, and Section
The Commission in its complaint for
7(a) of the Investment Company Act.
the district court action alleged that Respondents had engaged in a
scheme to defraud investors in a hedge fund. The Commission also alleged
that Paul House was the managing member of House Asset Management,
L.L.C., the adviser to the hedge fund, and Brandon Moore was its chief
~inancial officer. The Commission alleged further that the Respondents
falsely told investors that the hedge fund had generated cumulative
returns of up to 148% when the hedge fund had lost at least $850,000
during its operation. Additionally, the Commission alleged that the
Respondentsmisrepresented the use of proceeds to investors by claiming
that the proceeds would be used to engage in a profitable securities
trading program when Respondents borrowed at least $400,000 from the
themselves. Further, the
hedge fund to purchase real estate for
Commission alleged that the Respondents made false and misleading
statements in offering materials about House's background as a broker
and omitted to disclose the Respondents' prior personal bankruptcies.
A hearing will be scheduled before an administrative law judge to
determine whether the allegations contained in the Order are true, to
provide the Respondents an opportunity to dispute these allegations, and
to determine what sanctions, if any, are appropriate and in the public
interest. (Rel. IA-2071; File No. 3-10921)
COURT ENJOINSCHICAGO-BASED
PERMANENTLY OF
EMPLOYEE THREE-FIVESYSTEMS,INC.,
TWOFAMILY AND
MEMBERS FRIEND, ORDERS AND
DISGORGEMENT CIVIL PENALTIES
The Commission announced that on Oct. 23 the Honorable Judge John W.
Darrah of the United States District Court for the Northern District of
Illinois permanently enjoined Joseph Sidoryk (Sidoryk), Director of
primary
Strategic Accounts at Three-Five Systems, Inc. a (Three-Five)ofandElmhurst,
resident
liaison to Motorola, Inc. (Motorola), and
Illinois, Gary L. Camp (Gary Camp), a resident of Rock Island, Illinois,
Todd Camp, a resident of Elmhurst, Illinois and Thomas J. Siska (Siska),
a resident of Norridge, Illinois, from further violations of the
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MADOFF EXHIBITS-05378
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antifraud provisions of the federal securities laws. Sidoryk, Gary
Camp, Todd Camp and Siska consented to the entry of the Order without
admi t ting or denying the allegations of the Complaint. ?'he Order was
based on the Commission's Complaint, filed on July 23, 2002, which
alleged that Sidoryk, Gary Camp, his father-in-law, Todd Camp, his
brother-in-law, and Siska, his friend, engaged in insider trading in the
stock of Three-Five, while in possession of material, non-public
information.
Judge Darrah also ordered: (1) Sidoryk to pay disgorgement of
$25,559.94, prejudgment interest of $4,020.62, and a civil penalty of
$45,159.94; (2) Gary Camp to pay a civil penalty of $14,850.00; (3) Todd
Camp to pay disgorgement of $15,343.75, plus prejudgment interest of
$2,916.07, and a civil penalty of $15,343.75; and (4) Siska - to pay
disgorgement of $4,256.25, prejudgment interest of $09.16, and a civil
penalty of $4,265.25.
The Commission wishes to acknowledge and thank the New York Stock
Exchange, Market Surveillance Program for their assistance in this
matter. [SEC v. Joseph Sidoryk, Gary L. Camp, Todd Camp and Thomas J.
Siska, USDC, ND Illinois, Civil Action No. 02C-5206 (JWD/SIS)I (LR-
17807)
CIVIL ACTION AGAINST J. SCOTT ESKIND, LORUS INVESTMENTS, INC., AND CAPITAL
MANAGEMENT FUND, LIMITED PARTNERSHIP
The Commission announced that an application for an order to show cause
why defendants J. Scott Eskind (Eskind), Lorus Investments, (Lorus)
Inc.
and Capital Management Fund, Limited Partnership (Capital)
(collectively, the defendants) should not be held in civil contempt was
filed by the Commission on October 8, 2002, in the United States
District Court for the Northern District of Georgia, based on the
defendants' failure to provide an accounting, as required by the Court's
September 12, 2002 preliminary injunction order. That order enjoined
Eskind, Lorus and Capital from violations of Section 17(a) of the
Securities Act of 1933, Section 10(b) of the Securities Exchange Act of
1934 and Rule 10b-5 thereunder, and Eskind and Lorus from violations of
Section 206 of the Investment Advisers Act of 1940. On October Il,
2002, the Honorable Marvin H. Shoob, United States District Judge for
the Northern District of Georgia, entered an Order requiring Eskind,
Lorus and Capital to show cause why they should not be held in civil
contempt for their violation of the Court's September 12, 2002 order.
The Commission's complaint, filed on Sept. 3, 2002, alleged that Eskind,
in violation of a permanent injunction entered on Jan. 12, 1998, and
continuing until the filing of the complaint, raised at least $3 million
through sales of limited partnership units in Capital. Capital
purportedly does business by trading in securities through initial or
secondary public offerings. The sales materials misrepresented to
investors Eskind's broker-dealer experience, and did not disclose his
1991 NYSE suspension, the Commission's 1997 civil action or the
Commission's 2000 order barring him from association with an investment
adviser. The complaint alleged that investors were told that TRA
accounts had been opened for them at a trust company which serves as an
IRA custodian and had received statements from Lorus indicating their
funds in those accounts. In fact, no such accounts have been opened. The
sales materials falsely stated that a major law firm provided legal
representation for Lorus. Finally, the complaint alleged that Lorus is
an investment adviser and Eskind's continuing association with Lorus was
a violation of the Commission's 2000 order. [SEC v. J. Scott Eskind,
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Lorus Investments, Inc., and Capital Management Fund, Limited
Partnership, USDC, NDGA, Civil Action No. 1:02-CV-2429-MHS] (LR-17808)
FORMER BROKER DENNIS HERULA INCARCERATED FOR CONTEMPT OF COURT IN SEC FRAUD
ACTION, AND JUDGE ORDERS ATTORNEY MARY LEE CAPALBO ARRESTED FOR FAILURE TO
APPEAR IN COURT
The Commission announced that at a hearing on Oct. 24 concerning the
Commission's motions for contempt, in United States District Court for
the District of Rhode Island, Judge Mary M. Lisi found former broker
Dennis Herula in contempt of court for failure to provide a detailed
accounting pursuant to a preliminary injunction order entered by the
court in May 2002. Judge Lisi ordered Herula incarcerated until such
time that he complies with those provisions. At the conclusion of the
hearing, officers of the court took Herula into custody. Judge Lisi
also issued a bench warrant for the arrest of Herula's wife, Rhode
Island attorney Mary Lee Capalbo, for failure to appear for the Oct. 24
hearing, as previously ordered by the court. Herula and Capalbo are
defendants in a civil fraud action filed by the Commission on April I,
2002. The Commission's complaint alleged that they and others
participated in a fraudulent offering scheme that raised at least $52
million from investors. According to the complaint, Herula and Capalbo
played integral roles in the fraudulent scheme and misappropriated
approximately $8 million in investor funds.
On May 8, 2002, the court issued a written order imposing preliminary
injunctions and asset freezes against Herula, Capalbo, and certain other
defendants. The order required them to submit a detailed accounting
showing, among other things, all transfers or payments of funds to them
from investors or clients, the piecise disposition of all such transfers
or payments, and the current location of all funds or assets derived
from such transfers or payments. After Herula and Capalbo failed to
submit the accounting, the Commission filed civil contempt charges
against them on August 8, 2002. At a hearing on Sept. 16, 2002, the
court ordered Herula to provide the Commission with certain information
required by the accounting by September 23, 2002. Herula provided the
Commission with an accounting on Sept. 23, 2002. At the October 24
hearing, Judge Lisi held that in~ormation Herula provided to the
Commission did not satisfy the detailed accounting requirements of the
preliminary injunction, and ordered him incarcerated until such time
that he complies with the accounting requirements. The court had
previously entered final judgment by default against Herula, permanently
enjoining him from future violations of the antifraud provisions of the
federal securities laws. The final judgment also ordered Herula to pay
disgorgement, plus prejudgment interest, in the total amount of
$18,941,665.63, and assessed him a $250,000 civil monetary penalty.
Capalbo failed to appear for hearings before the court on Sept. 16 and
Oct. 10, 2002 concerning the Commission's contempt motion against her.
At the Oct. 10 hearing, Judge Lisi ordered Capalbo to appear on Oct. 24,
and indicated her failure to appear would result in the issuance of an
arrest warrant. When Capalbo failed to appear for the October 24
hearing, Judge Lisi issued a bench warrant for her arrest. A contempt
hearing, as well as a hearing concerning a motion for default judgment
against Capalbo, will be held after she is taken into custody and
transported to the federal court in Rhode Island. For further
information, please see Litigation Release Numbers 17800 (Oct. 23, 2002)
[final judgment by default against Herula]; 17793 (Oct. 18, 2002)
[preliminary injunction and asset freeze against Herula, Capalbo, and
others in a separate action filed in federal district court in the
sec. -28.txt
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MADOFF EXHIBITS-05380
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Northern District of California alleging similar fraudulent scheme];
17737 (Sept. 19, 2002) [civil contempt hearing agaiiist Herula in Rhode
Island action]; 17514 (May 13, 2002) [preliminary injunction and asset
freeze against.Herula and others in Rhode Island action]; 17461 (April
5, 2002) [temporary restraining order and asset freeze against Herula
and others in Rhode Island action]. [SEC v. Dennis Herula, et al., USDC
for the District of Rhode Island, C.A. No. 02 154 ML] (LR-17809)
INVESTMENT COMPANY ACT RELEASES
EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, ET AL.
A notice has been issued giving interested persons until Nov. 13, 2002,
to request a hearing on an application filed by The Equitable Life
Assurance Society of the United States (Equitable), Separate Account A
of Equitable, Separate Account FP of Equitable, Separate Account No. 45
of Equitable, Separate Account No. 301 of Equitable, Separate Account
No. 66 of Equitable (SA 66), and EQ Advisors Trust (Trust) (callectively
with Equitable, its separate accounts, and the Trust, the "Equitable
Applicants"), The American Franklin Life Insurance Company, (American
Franklin), Separate Account VUL of American Franklin, Integrity Life
Insurance Company (Integrity), Separate Account VUL of Integrity,
National Integrity Life Insurance Company (National Integrity) and
Separate Account VUL of National Integrity (collectively, Applicants)
All of the Applicants, except SA 66, and the Trust, seek an order
pursuant to Section 26(c) of the Investment Company Act approving the
substitution of shares of the EQ/Alliance International Portfolio for
shares of the EQ/Alliance Global Portfolio. In addition, the Equitable
Applicants request an order pursuant to Section 17(b) of the Act to
permit certain in-kind transactions in connection with the proposed
substitution. (Rel. IC-25784 - Oct. 23)
HOLDING COMPANY ACT RELEASES
ENERGY EAST CORPORATION
A supplemental order has been issued authorizing a proposal by Energy
East Corporation (Energy East), a registered holding company. By orders
dated October 13, 2000 (HCAR No. 27248) and December 21, 2001 (HCAR No.
27481) (Orders) the Commission, among other things: (1) designated
Energy East Management Corp. (EE Management) as a subsidiary service
company of Energy East in accordance with the provisions of rule 88; (2)
authorized the delay, to a date no later than November 30, 2002
(Transition Period), the full implementation of all expected services to
be provided by EE Management; and/or (3) authorized the delay of the
full implementation of the required service agreements. This
supplemental order extends the Transition Period under the Order to
February 28, 2003. (Rel. 35-27582)
SELF-REGULATORY ORGANIZATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
The Depository Trust Company riled a proposed rule change (SR-DTC-2002-
sec. gest/
httP://WWW. gov/news/di 10-2X.txt 8/5/2009
MADOFF EXHIBITS-05381
filing underSection (A)
19(b)(3) of the
12), which becameeffective upo" segregation procedures
DTC'sn~emo
Act, enhancing in the ~ederaL
Securities Exchange is expected during
ReOister
Publication of the proposal 34-46717)
(Rel.
the week of Oct. 28·
pROPOSEDRULE CHANGE
APPRO\IAL
ACCELERE~TEO OF change
apprcval to a proposed rule
grantedaccelerated
The Commission Options Exchangepu'sua"t to
by theChicago
(SR-CBOE-2002-481 Securities Board Act of
Exchange
1934. The proposed
Se~tion
rule
19(b~~~~d~ft~~eCBOE.sRulesexpected the
change Of 28 a"d 34-46718) to the
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is in
governanceOf the CBOE. Oct. (Rel.
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PROPOSED AMENDMENT
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filed a notice of filing and
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Plan of 193~ pu'sua"tto Rule
proposed amendment
immediate effectiveness of a (SR-OPRA-2002-05)
Exchange(Rel.
llAa3-2underthe Securities fees.ACt 34-466741
device based
regarding policies for
DELISTINGSGRANTING American Stock
the application of the
An order
thoa~trike 9ranting registration
Exchange been issuedlistingand effectivetheaCt"~~~ $·10
from Stock,of
opening
Corporation,
par value, of Thackeray 34-46724)
(Rel.
business On Oct. 28, 2002·
of Stock
the application the F~irnerican
An order has been issued grantin9
Exchange Strike fromlisting and
tO
the Common
registrationthe Stock, $.01
effective at opening of
~"corporated,
par value, of Stratesec(Rel. 34-46725)
business on Oct. 28, 2002.
the applicationof the Boston Stock
An order has been issued 9ra"ting the CommonStock, no
Exchange Strikefrom
tO listing andregistrationat the openingof
Inc., effective
International,
parvalue,of Med-Emerg (Rel. 34-46726)
2002.
business O" Oct. 28,
ACT
SECURITIES REGISTRATIONS
The following
statements been the under
'e9istration have filedwith SEC information appears aS
A"t The Number
the Securities Of 11933. reported (if available) Of the
follows: ~Olm~ Name, and number
Address Phone ?nd/02face amount the
of
issuer of the security;Title andthemanaging
of the or
underwriter depositor
securities being offered; Name filed; Assigned Branch; a"d a
anddate
(if applicable);File number New Issue.
statement iS a
designation if the
in 450 Fifth Street,
obtained perso"0' by writing tO the
N.W.,
Registration statements maybe
public Reference
Commission's B'a"chat e-mail boX address:
D.C or following
Washin~ton, 20549 at the this in20'mationiS also available
I"
<publicinfo@secgov'. mostcases,
website: <WWW.SeC-9oV>.
.. the Commission's
AVE, NJI
KEMBLE MORRISTOWN,
S-8 INTERNATIONAL
DENDRITE 1200 MOUNT
INC, ($6,260,000.00) Equity,
-
07960, 2014251200 1~000,000
8/5/2009
htlp:iiwww.sec.govinewsidigestil0-2X.txt
MADOFF EXHIBITS-05382
(File 333-100733 - Oct. 25) (BR. 03)
500 DALLAS STREET, HOUSTON, TXI
S-4 PLAINS EXPLORATION & pRODUCTION CO,
77002, 713 654 1414 - O ($200,000,000·00) Non-Convertible Debt,
(File 333-100735 - Oct. 25) (BR. 04)
NEWHAMPSHIRE AVENUE N.W., WASHINGTON, DC~
S-l BOARD
ADVISORY COr 600 (File 333-100736 - Oct. 25) (BR. 08)
20037, O ($191,417,500.00) Eguity,
TNI 37801, 2053443000 -
MARYVILLE,
5-8 RUBY INC,
TUESDAY 150 WCHURCH STI 333-100738 Oct. 25) (BR. ~5)
500,000 ($8,650,000.00) Equity, (File
CLEBURNE,TXI 76031, 8176413681 -
S-8 UNITED CORP,
HERITAGE 2 CADDO STREET,
1,000,000 ($385,000.00) Eguity, (File 333-100739 - Oct. 25) (BR. 04)
pHILLIPSBURG, KSI 67661,
SE-2 BROOKE STREET FLOOR,
2ND
CORP,205 FNon-ConvertibleDebt, (File 333-100740- Oct. 25)
0 ($5,000,00000)
(BR. 01)
SE-2
BANCSHARES
MOCNTAIN INC,1,200,00P Eguity,
($12,000,000.00)
(File 333-100741 - Oct. 25) (BR.
MAI 01801,
WOBURN, 6179332020 -
S-8 pOLyMEDICA CORP, 11 STATESTI
(File 333-100742 - Oct. 25) (BR. 01)
O 1$14,195,000-00) Eguity,
SE-1
ONLINE ($9,999,996.00)
MICROSOURCEINC,1,666,666~ Equity,
(File 333-100744 - Oct. 25] (BR.
515 WESTGREENSROAD, SUITE 720,
S-8 NATURAL
FORTUNE RESOURCES CORP,
HOUSTON, 77067, 2818721170 - 2,936,760
TXI ($928,540.00) Equity,
(File 333-100745 - Oct. 25) (BR. 04)
TX, 76134, 8175516878
S-8 INC,
ALCON 6201 SOUTH FORT
FREEWAY, WORTH,
(File 333-100746 - Oct. 25) (BR. 01)
3,000,000 ($113,850,00000) E9uity,
REAL
ESTATE TRUST, ($1,500,000·00)
N-2 RLACKROCK INCOME 100,000 Equity,
(File 333-100747- Oct. 25) (BR. 22)
sn2 STYLE 4,00.0,000
WEDUSACORP, Eguity, -
($200,000.00) (File333-1007·19
Oct. 25) (BR.
HEALTHCARE 407-822-4600 -
ROTECH INC,
S-4
O ($300,000,000.00)
Debt,
Non-Convertible (File 333-100750- Oct. 25)
(BR.
N-2 OFFICE SQUARE,
RMRREAL ESTATE FUND, ONE POST BOSTON,MAI 02109, 6173382899
C/O SULLIVAN& WORCESTER LLP, (File 333-100751 - Oct. 25) (BR. 20)
5,000,000 ($75,000,000.00) Eguity,
ST
579 RICHMOND WEST, STE 301, TORONTO,
F-3 INTERNATIONAL
CRYSTALLEX CORP,
A6, M5Z 1Y6,
4162032448 - 131211,749 ($241016,143·00) Equity,
(File 333-100752- Oct. 25) (BR. 04)
MAI
FIRST STREET,CAMBRIDGE, 02142,
S-8 TECHNOLOGY
~ATCON CORP, 161 Equity, (File 333-100753 - Oct. 25)
6176610540 - O ($4,759,058.00)
(BR. 36)
37400 CENTRAL CAI
COURT,NEWARK, 94560,
S-3 COMMUNICATIONS
SOCKET INC,
5107442700 ($4,057,410-00) Equity, (File 333-100754
- q,830,250
Oct. 25) (BR. 03)
8/5/2009
0-28.txt
I·ltlp:ilwww.sec.govinews/digestil
MADOFF EXHIBITS-05383
Page 12 0121
S-8 SYMMETRICOM INC, 2300 ORCHARD PARKWAY, SAN JOSE, CA, 95131-1017,
4084287813 - O ($350,955.65) Equity, (File 333-100755 - Oct. 25)
(BR. 37)
5-3 ARTISOFT INC, 5 CAMBRIDGECENTER, 3RD FLOOR, CAMBRIDGE, MA, 02142,
6173540600 - 5,771,467 ($2,597,160.15) Equity, (File 333-100756 -
Oct. 25) (BR. 03)
5-3 PRICESMART INC, 4649 MORENABLVD, SAN DIEGO, CA, 92117, 6195814530 -
O ($1,867,821.00) Equity, (File 333-100757 - Oct. 25) (BR. 02)
S-8 EXTENDED SYSTEMS INC, 5777 MEEKER AVENUE, BOISE, TD, 83713,
2023227575 - 750,000 ($1,366,921.08) Equity, (File 333-100758 -
oct. 25) (BR. 03)
S-3 HOME PROPERTIES OF NEW YORK INC, 850 CLINTON SQ, ROCHESTER, NY, 14604,
7165464900 - 326,517 ($1.00) Equity, (~ile 333100759 - Oct. 25)
(BR. 08)
S-8 SONORAN ENERGY INC, 521 WEST 23RD ST, 2ND FL, NEW YORK, NY, 10011,
2126479223 - 400,000 ($70,000.00) Equity, (File 333-100760 - Oct. 25)
(BR. 08)
N-2 NUVEENQUALITY PREFERRED INCOME FUND 3, 1,00C ($15,000.00) Equity,
(File 333-100761 - Oct. 25) (BR.
S-8 ELGRANDECOM INC, 1132 HAMILTONST, SUITE 302, BC
VANCOUVER CANADA, Al,
V6B 252, 604-689-0808 - 5,000,000 ($250,000.00) Equity,
(File 333-100762 - Oct. 25) (BR. 03)
S-8 ADVENT SOFTWARE INC /DE/, 301 BRANNAN ST, SAN FRANCISCO, CA, 94107,
4155437696 - O ($6,569,455.20) Equity, (File 333-100763 - Oct. 35)
(BR. 03)
SE-2 ANTEX BIOLOGICS INC, 300 PROFESSIONAL DR, GAITHERSBURG, MD, 20879,
3015900129 - O ($27,702,500.001 Equity, (File 333-100764 - Oct. 25]
(BR. 01)
S-8 RAIT INVESTMENT TRUST, 1818 MARKET ST, 28TH FL, PHILADELPHIA, PA,
19103, 2155465119 - 800,000 ($15,888,000.00) Equity, (File 333-100766
Oct. 25) (BR. 08)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events:
Item i. Changes in Control of Registrant.
Item 2. Acquisition or Disposition of Assets.
Item 3. Bankruptcy or Receivership.
Item 4. Changes in Registrant's Certifying Accountant.
Item 5. Other Materially Important Events.
Item 6. Resignations of Registrant's Directors.
Item 7. Financial Statements and Exhibits.
Item 8. Change in Fiscal Year.
Item 9. Regulation FD Disclosure.
O-2K.txt
hltp:iiwww.sec.govil7ewsidigestil 81512009
MADOFF EXHIBITS-05384
rage I~ or LI
The following companies have filed 8-K reports for the date indicated and/or
amendments to 8-K reports previously ~iled, responding to the item(s) of the form
specified. 8-K reports may be obtained in person or by writing to the
Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C.
20549 or at the following a-mail box address: <publicinfo@sec.gov>. In most
cases, this information is also available on the Commission's website:
<www.sec.gov>.
STATE 8K ITEM NO.
OF
NAME ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT
INC
1-800 ATTORNEY FL X X 10/21/02 AMEND
CORP
3 D SYSTEMS DE X X 10/22/02
FINANCIAL
AAMES CORP/DE DE X 10/34/02
MORTGAGE SERIES 1999-5
ABNAMRO CORP DE X 10/01/02
MORTGAGE SERIES 1999-6
ABNAMRO CORP DE X 10/01/02
MORTGAGE SERIES 1999-8
ABNAMRO CORP DE X 10/01/02
MORTGAGE SERIES 2000-3
ABNAMRO CORP DE X 10/01/02
MORTGAGE SERIES 2001-3
ABNAMRO CORP DE X 10/01/02
MORTGAGE SERIES 2001-6
ABNAMRO CORP DE X 10/01/02
MORTGAGE SERIES 2001-7
ABNAMRO CORP DE X 10/01/02
INSURANCE
ACCEPTANCE INC
COMPANIES DE X 10/24/02
& INC
AIR PRODUCTS CHEMICALS /DE/ DE X x 09/30/02
FINANCIAL
ALLMERICA CORP DE X 10/25/02
AMB CORP
FINANCIAL DE X X 10/24/02
ECOLOGY
AMERICAN CORP DE X X 10/22/02
MORTGAGE
AMERIQUEST INC
SECURITIES AS DE X 06/25/02 AMEND
& POOLS
ANTHONYSYLVAN CORP OH x 10/25/02
TWO
APPLEHOSPITALITY INC VA X X 10/23/02
APPLESUITES INC VA X 10/23/02
INTERNATIONAL
APPLEBEES INC DE x 10/25/02
ARTISOFTINC DE X X 10/24/02
INC
AKTISOFT DE X X 10/25/02
INC
AUTOBYTEL DE X X 10/24/02
INC
AUTONATION /FL DE X X 10/21/02
O-2X.txt
http:liww\Y.sec.govinewsidigestll Si5I20OC)
MADOFF EXHIBITS-05385
NY x x 10/24/02
AVNET INC
TECHNOLOGY
BALDWIN COINC DE X X 10/10/02
DE x x 10/24/02
BANG CORP
OF MORT INC PAS
BRNKAMERICASEC MORT DE X X 10/22/02
VIEW CORP
BAY SECURITIZATION DE X 10/15/02
VIEW CORP
BAY SECURTTIZATION DE x 09/30/02
X X 10/16/02
BEAR INC
AEROSPACE NV
STEARNS
BEAR MORTGAGE
COMMERCIAL SEC NY X X 10/15/02
STEARNS
BEAR MORTGAGE
COMMERCIAL SECUDE X 10/01/02
STEARNS
BEAR MORTGAGE
COMMERCIAL SECUDE X 10/01/02
X X 10/15/02
BEAR COMMERCIAL
STEARNS SECU DE
MORTGAGE
STEARNS
BEAR MORTGAGE
COMMERCIAL SECUDE X X 10/L5/02
STEARNS SEC COM PA NY
BEAR MORT INC MORT X X 09/16/02
X X 10/15/02
BEAR MORT
STEARNS MORT
SEC INC COMM P NY
SYSTEMS
INC
BIOANALYTICAL 1N x 10/24/02
DE X X 10/24/02
BIOTRANSPLANT TNC
COS~ECEUTICALS
BIOZHEM INC TX X 10/18/02
FL X X 10/23/02
BSD SOFTWARE INC
MN X X 10/24/02
BUCA INC /MN
COAT
FACTORY
BURLINGTON COR DE
WAREHOUSE X 10/24/02
DE X X 10/25/02
CARESIDE INC
DE X X 10/24/02
CARNIVAL CORP
FINANCIAL CORP NV X
CATERPILLAR FUNDING 07/31/02
FINANCIAL CORP
CATERPILLAR FUNDING NV X 09/30/02
X 09/30/02
FINANCIAL
CATERPILLAR CORP
FUNDING NV
X 07/31/02
FINANCIAL
CATERPILLAR CORP
FUNDING NV
FINANCIAL CORP
CATERPILLAR FUNDING NV X 08/31/02
X 09/30/02
FINANCIAL
CATERPILLAR CORP
FUNDING NV
FINANCIAL CORP NV X
CATERPILLAR FUNDING 07/31/02
FINANCIAL CORP NV X
CATERPILLAR FUNDING 08/31/02
S/5/2009
O-28.txt-
http:ilwu·w.sec.gov/I7ewsidigestil
MADOFF EXHIBITS-05386
Page 15 of21
CATERPILLAR FINANCIAL FUNDING CORP NV X 09/30/02
CBRL GROUP INC TN x x 10/25/02
CBRL GROUP INC TN X X. 10/25/02
CENTRAL BANCORP INC /MA/ MA x x 10/25/02
CENTURYTEL INC LA X 09/30/02
CHARTER COMMUNICATIONS INC /MO/ DE x x 10/24/02
CHICAGO MERCANTILE EXCHANGE HOLDINGS DE x 10/24/02
.CIGNA CORP DE X X 10/24/02
CIGNA CORP DE X X 10/25/02
CIT EQUIPMENT COLLATERAL2002-VT1 DE X 10/17/02
CITIBANK SOUTH DAKOTA N A DE X 09/30/02
CITY NATIONAL CORP DE X X 10/25/02
COLDWATER CREEK INC DE x 10/25/02
COMBINED PROFESSIONAL SERVICES INC NV X X 10/24/02
COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 10/18/02
COMMERCIAL MOR?'GAGE PASS THRU CERTIFI DE X X 10/15/02
COMMUNITY BANK SHARES OF INDIANA INC IN X 10/25/02
COMPUTERIZED THERMAL IMAGING INC NV X 10/24/02
CONSOLIDATED CAPITAL INSTITUTIONAL PR CA X 08/09/02 AMEND
CORPORATE ASSET BACKED CORP DE X 10/15/02
CSFB COMMERCIAL MORTGAGE BACKED PASS X X 10/18/02
CSFB MORT SEC CORP COMM MORT PAS THR DE X X :0/18/02
CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 09/25/02
CWMBS INC DE X X 08/29/02
CWMBS TNC CHL MORTGAGE PASS THRU TRUS DE X 09/25/02
CYTOGEN CORP DE X X 10/25/02
DAIMLERCHRYSLER MASTER OWNER TRUST X X 09/16/02
DAISYTEK INTERNATIONAL CORPORATION /O DE X X 10/24/02
DIVERSIFIED SECURITY SOLUTIONS INC DE X 08/13/02 AMEND
DOCENT INC DE X X 10/24/02
gov/news/di 10-2s.txt
http:ilwww.sec. gesti 8/5/2009
MADOFF EXHIBITS-05387
Ub~
TREE INC
DOLLAR STORES VA X ac/3a/32
NJ X X 10/23/02
DONINI INC
GRAND INC
DREYERS ICECREAM DE X X 10/25/02
DE X X 10/24/02
E LOAN INC
NV X 10/25/02
EARTHNETMEDIA INC
NETWORKS
ENTRADA INC DE X X 10/25/02
ENERGY
EOTT LP
PARTNERS DE X X X 10/21/02
GA X X 10/24/02
EQUIFAX INC
TECH?3OLOGY
EXCEL INC CE X 10/25/02
DE x x x 09/30/02 AMEND
EXPRESS SCRIPTS JNC
SOFTWARE
FALCONSTOR INC DE X X 10/24/02
INC
FIBERSTARS/CA/ CA X X 10/17!02
DE X X 10/15/02
FINISAR CORP
HORIZON SECURITIES
FIRST ASSET INC DE X X 09/30/02
AMEND
SECURITY INC/KY/
FIRST BANCORP KY X 09/30/02
UNION MOR INC MOR NY
FIRST COM SEC COM P X X 10/18/02
UNION MOR" COMM NY
FIRST COMM TRUST MOR X X 10i18/02
UNION MORT COMM NY
FIRST COMM TRUST MOR X X 10:1e/02
UNION MORT COMM
FIRST COMM TRUST MOR NY X X 10118/02
UNION
FIRST MORTGAGE
COMMERCIAL PASS NC X X 10/15/02
UNION
FIRST MORTGAGE
COMMERCIAL PASS NC X 10/01/02
UNION
FIRST BANK MORT
NATIONAL COM PA NC X X 09/13/02
FINANCIAL
FIRSTFED CORP DE X 09/30/02
FINANCIAL
E.IRSTFED CORP DE x 09/30/02
INDUSTRIES
FORWARD INC NY X X 10/24/02
ELECTRONIC
FRANKLIN INC
PUBLISHERS Pn X X 10/25/02
RECEIVABLES
FRANKLIN LLC DE X X 09/30/02
x 10/24/02
FRESH BRANDS INC
BRANDS INC
FURNITURE INTERNATIONAL DE X X 10/25/02
NV X X X 08/23/02 AMEND
GENE CELL INC
s15/2009
0-28·txt
http:liwww.sec.govlI7ewsldigestil
MADOFF EXHIBITS-05388
Page 17 of 21
GENE CELL INC NV x X x 08/23/02 AMEND
GMAC COMMERCIAL MORTGAGE SEC INC MRT X X 10/15/02
GREEN MOUNTAIN COFFEE INC DE X 10/24/02
HANCOCK JOHN LIFE INSURANCE CO MA X X 10/25/02
HOME PROPERTIES OF NEW YORK INC MD X >( 12/31/02
HORIZON FINANCIAL SERVICES CORP DE X X 10/25/02
HOST AMERICA CORP DE X X 10/16/02 AMEND
HYPERTENSION DIAGNOSTICS INC /MN MN X X 10/25/02
i STAT CORPORATION /DE/ DE X X 10/25/02
IEC ELECTRONICS CORP DE X 10/25/02
IMH ASSETS CORP DE X X X 10/30/02
IMMUNOMEDICS INC DE X X 10/25/02
INDIANA GAS CO INC IN X 09/30/02
INGRAM MICRO INC DE x x 10/25/02
INTEGRATED INFORMATION SYSTEMS INC DE X 10/25/02
JDN REALTY CORP MD X 10/25/02
KANSAS CITY SOUTHERN DE X X 10/24/02
KERR MCGEE CORP /DE DE x x 10/22/02
KEY TRONIC CORP WA X X 10/24/02
KNOWLEDGE NETWORKS INC NV X X 10/22/02
LABORATORY CORP OF AMERICA HOLDINGS DE x 10/25/02
LAKELAND INDUSTRIES INC DE X 10/21/02 AMEND
LECSTAR CORP TX X 10/25/02
LEE SARA CORP MD X X 10/24/02
LEGAL RESEARCH CENTER INC MN X X X 10/15/02
LIBERATE TECHNOLOGIES DE X X 10/22/02
LIBERATE TECHNOLOGIES DE X X 10/25/02
LOOKSMART LTD DE X 10/24/02
MANUGISTICS GROUP INC DE X X 10/24/02
MCDONALDS CORP DE X X 10/22/02
.govll~ewsldigesti 8.txt
htlp:~www.sec 10-2 81512009
MADOFF EXHIBITS-05389
Page 18 of 21
MED DIVERSIFIED INC NV X X 10/16/02
MEDICINES CO/ MA DE X X 10/22/02
MELLON RESIDENTIAL FUNDING CORP MOR P DE X X -10/15/02
MERRILL LYNCH & CO INC DE X X 10/25/02
MICROHELIX INC OR X X 10/24/02
MICROSTRATEGY INC DE X 10/24/02
MOBILE AREA NETWORKS INC X X 08/26/02 AMEND
MORGAN STANLEY DEAN WITTER CAP I INC DE X X 10/15/02
MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/23/02
MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/15/02
NATIONAL STEEL CORP DE x x 10/25/02
NEWPOWERHOLDINGS INC DE X X 10/18/02
NQL INC DE X 10/11/02
NSD BANCORP INC PA X X 10/25/02
OPTICAL CABLE CORP VA X X 10/25/02
OVERSTOCK COM INC UT X x 10/25/02
PACIFIC CREST CAPITAL INC DE X X 10/17/02
PAINEWEBBERMORTGAGE ACCEPTANCE CORP DE X X 03/26/01
PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 06/25/01
PRINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 09/25/01
PAINEWERBER MORTGAGE ACCEPTANCE CORP DE X X 12/26/01
ACCEPTANCECORP
PAINEWEBBERMORTGAGE DE X X 03/25/01
PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 06/25/02
PAINEWEBBER MORTGAGE ACCEPTANCE CORP DE X X 09/25/02
PANERA BREAD CO DE x 10/25/02
PENTON MEDIA INC DE ;( )( 10/24/02
PEOPLES ENERGY CORP IL x x 10/25/02
PEOPLES ENERGY CORP IL X 10/25/02
PRAECIS PHARMACEUTICALS INC DE X X 10/25/02
PRINCETON AMERICAN CORP NV X 10/24/02
0-28.txt
http:liwww.sec.govll7ews/digestll 5/512009
MADOFF EXHIBITS-05390
I>age 19 01`21
PW EAGLE INC MN X X 10/22/02
RAYONIER INC NC X X 10/25/02
READERS DIGEST ASSOCIATION INC DE X 09/30/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/24/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10 /.2 5 / 0 2
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDEN'1'IAL ASSET MORTGAGE PRODUCTS r DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/35/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/25/02
RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/25/02
RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/25/02
RIVIERA HOLDINGS CORP NV X X 10/25/02
ROBOTIC VISION SYSTEMS INC DE X X 10/35/02
RYDER VEHICLE LEASE TRUST 1999-A DE X X 10/11/02
SALIX PHARMACEUTICALS LTD x x · 10/25/02
SALTON INC DE X X 10/23/02
SEMPRA ENERGY CA x 10/22/02
SIERRA PACIFIC RESOURCES /NV/ NV X X 10/25/02
SILVER BUTTE MINING CO X 08/31/02 AMEND
govinewsldi
hUp:ilwww.sec. gesl/l0-2s.txt Si5/2009
MADOFF EXHIBITS-05391
Page 20 of 21
SITESTAR CORP NV X X 10/15/02
SLC STUDENT LOAN RECEIVABLES I INC DE X 09/30/02
SLI INC OK X X 10/23/02
SONUS CORP Al X X 10/23/02
SORRENTO NETWORKS CORP NJ X 10/25/02
SOUTHERN INDIANA GAS & ELECTRIC CO IN X 09/30/02
SOUTHWESTERN ENERGY CO AR x x 12/25/02
SOVEREIGN SPECIALTY CHEMICALS INC DE X X 10/23/02
SPECIALTY TRUST INC X X 10/11/02 AMEND
STARTECH ENVIRONMENTAL CORP CO X X 10/25/02
STATEFED FINANCIAL CORP DE X X 10/25/02
STERLING CHEMICALS HOLDINGS INC /TX/ DE x x 10/21/02
STRUCTURED ASSET SECURITIES CORP DE X X 10/25/02
STRUCTURED ASSET SECURITIES CORP LB-U DE X 10/01/02
SWANK INC DE x x 10/24/02
TELLIUM INC DE X X 10/25/02
TOYOTA AUTO FINANCE RECEIVABLES LLC DE X X 10/23/02
TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 04/08/02
TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 05/08/02
TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 06/07/02
TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 07/08/02
TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 09/09/02
TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 03/08/02
TRAVELERS BANK CREDIT CARD MASTER TRU DE X X 08/08/02
TRC COMPANIES INC /DEI DE X X 10/21/02
TRUMP HOTELS & CASINO RESORTS TNC DE x x 10/24/02
TYCO INTERNATIONAL LTD /BER/ DO X X 10/24/02
ULTIMATE SOFTWARE GROUP INC DE X 10/25/02
UNITED FIDELITY AUTO RECEIVABLES TRUS DE X X 10/15/02
UNITED FIDELITY FINANCE LLC DE X X 10/15/02
ilwww.sec.
httP: gest/i
gov/news/di 0-28.txt 8/5/2009
MADOFF EXHIBITS-05392
STATIONERS
UNITED INC DE x x 10/24/02
BhNCORF/DE/
UNITY INC DE )( X 10/24/02
BANCORP
UNITY INC/DE/ DE X X 10/24/02
DE X 10/24/03
UNOCAL CORP
DE X 10/24/02
US CAN CORP
DE X X 10/25/02
USA INTERACTIVE
DE X X 10/24/02
VCA ANTECH INC
IN x . 09/30/02
VECTREN CORP
UTILITY ZNC
VECTREN HOLDINGS IN x 09/30/02
COMMUNICATIONS
VERIZON INC DE x 10/25/02
DE X x x 10/11/02
VIEWCAST COM INC
COMMERCIAL THRU NC
WACHOVIA MORTPASS CE X X 10/15/02
GROJP
WASL1INGTON INC
INTERNATIONAL DE X 10/24/02
MUTVAL
WASHINGTONMORTGAGE DE
SECURITIES X X 10/25/02
MUTUAL
WASHINGTONMORTGAG~ DE
SECURITIES X 10/23/02
lECHNOLOGIES
WATCHGUARD INC 3E X 10/24/02
AR INC
WATLEY GROUP DE X L0/21/02
INTERNATIONAL
WEATHERFORD INC/NEW/ DE X X 10/24/02
INTERNATIONAL
WEATHERFORD LTD DO X X 10/24/02
REA; INVEST~ENT IN
WELLS ESTATE TRUST MD X 08/15/02 AMEND
GAS
WESTERN INC
RESOURCES DE X 10/23/02
x 10/25/02
INC
WILLIAMSCOMPANIES DE
ONE INC
WIRE TECHNOLOGIES DE x 10/25/02
CO X X 10/25/02
WNCO INC
8/5/2009
0-28.txl
ht~-p:ilwww.sec.govil7ews/digest/l
MADOFF EXHIBITS-05393
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